Insider Trading Monitoring Software Evaluation Checklist Form
Use this checklist to evaluate monitoring capabilities, controls, integrations, implementation, and overall fit for your organization.
Evaluation Context
Evaluation Priorities
Trade surveillance coverage
Alert quality
Investigation workflow
Auditability
Integration fit
Implementation effort
Ongoing support
Deployment Requirements
Cloud-hosted
Self-hosted
Regional data hosting
Single sign-on
Role-based access
Test environment
Monitoring Scope
Employee trading activity
Restricted/watch lists
Pre-clearance workflow
Communications or case context
Configurable surveillance scenarios
Capabilities and Controls
Surveillance and detection
Configurable scenarios
Configurable thresholds
Cross-account pattern detection
Review of employee trading activity
Restricted-list monitoring
Alerts and investigation
Severity prioritization
Alert context
Case assignment
Investigation notes
Escalation workflow
Closure tracking
Governance and auditability
Role-based permissions
Activity logs
Documented rule changes
Review approvals
Configurable retention
Privacy and data controls
Data minimization settings
Access reviews
Encryption information provided
Configurable retention and deletion
Documented data-processing practices
Integration, Delivery, and Overall Fit
Integration fit
HR systems
Trading or brokerage data sources
Identity provider
Case-management tools
Reporting or analytics tools
Implementation and support
Implementation plan available
Migration assistance
Administrator training
User training
Named support channel
Service-level information
Evaluation outcome criteria
Meets critical requirements
Requires configuration
Requires integration work
Requires further vendor evidence
Not currently a fit
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